Brian Cates, financial advisor Lone Tree CO
93 score

Brian Cates

CRD Number: 1890230
Current Firm: Ubs Financial Services Inc.

Brian Cates (CRD# 1890230) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Lone Tree, CO and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Littleton, CO Jul 2013 - Current 3
Ubs Financial Services Inc. Littleton, CO Nov 2008 - Jul 2013 4
Morgan Stanley & Company, Incorporated Centennial, CO Apr 2007 - Nov 2008 1
Morgan Stanley Dw, Inc. Centennial, CO Sep 1988 - Apr 2007 18
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1988
Contact Info for Brian C. Cates
Phone Number: 201-352-3000
Registered State(s):
  • CO
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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